Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joseph Patrick Collins | 853129 | 1 | 01/28/2002 | Customer Dispute | Withdrawn | $7,025.79 | $0.00 | See FINRA Report |
| Michael Anthony Searock | 2061400 | 1 | 01/23/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Bao Chau Le Klemm | 2593549 | 1 | 01/16/2002 | Customer Dispute | Denied | $8,732.61 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 12/11/2001 | Customer Dispute | Withdrawn | $15,200.00 | $0.00 | See FINRA Report |
| Glenn Eric Black | 2757199 | 1 | 11/15/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John R Isaac | 1820762 | 1 | 11/09/2001 | Customer Dispute | Denied | $9,083.41 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Carl James Velander | 1276111 | 2 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Saede Paul Maleki | 2158902 | 2 | 05/04/2001 | Customer Dispute | Denied | $56,184.40 | $0.00 | See FINRA Report |
| Saede Paul Maleki | 2158902 | 2 | 04/24/2001 | Customer Dispute | Denied | $70,026.80 | $0.00 | See FINRA Report |